Preferred candidates from Wealth Management companies only Qualifications: Qualified as Company Secretary with LLB or CA degree preferred Work Experience (highlight) : - Work experience of 5-12 years. Must have exposure & experience in managing compliance aspects and understanding & awareness about wealth management business in financial service sector. Core Purpose of the Role : - Manage Compliance aspects of Investment Advisory / Distribution Business - Ensure all regulatory submissions / filing are done in time and record is maintained - All relevant policies are regularly updated and ensure that the Entities are compliant with all statutory approvals - Ensure new circulars released by regulators i.e. SEBI/AMFI are reviewed, discussed and implemented (Guide various teams, make plan and ensure implementation) - Ensure that all Advisory & Distribution transactions are executed as per regulatory guidelines and within timelines - Manage relationships with regulators and assist with the Company's response to regulatory inspection / observations - Ensure timely completion of Internal/External Audits - Assist in various compliance matters / opinions in day to day activities, Review of various documents and ensure that all providers of products / services have contractual relationships inforce - Managing customer (internal) queries in a timely manner to resolve grievances - Regular updates / training to employees related to compliance, AML, Insider Trading etc and ensure that the Sales, Advisory, Product & Operations team is compliant in all respects - Review of surveillance alerts and action on the same Skills: - Expertise in liaison work with various exchanges (SEBI) - Knowledge in company law - Excellent communication - Solution Orientation - Positive Attitude - Decision Making ability

Mumbai

Manager/Senior Manager/AVP/VP - Compliance - Wealth Management  Firm 

Manager/Senior Manager/AVP/VP - Compliance - Wealth Management  Firm  ,Job Description for Manager/Senior Manager/AVP/VP - Compliance - Wealth Management  Firm  in Randstad in  Mumbai for (5-15) years of experience. Apply Now!

Job Description for Manager/Senior Manager/AVP/VP - Compliance - Wealth Management  Firm  in Randstad in  Mumbai for (5-15) years of experience. Apply Now!